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Sample Series 66 Questions

Which of the following would least likely be associated with an investor’s ability to take risk?

A. Time horizon

B. Net worth and expected Income

C. Resources relative to financial goals

D. An investors comfort level with losing money

Which of the following is normally determined by evaluating objective factors?

I. Ability to assume risk

II. Willingness to assume risk

A. I only

B. I and II

C. Not enough information to determine

D. None of the above

Individual investors can employ various strategies to lighten or defer tax burdens. Which of the following investments/structures would least likely be used by an individual in a high tax bracket to reduce or defer taxes?

A. ETFs

B. Municipal bonds in your home state

C. Establishing an irrevocable trust

D. Industrial development revenue bond

One of many factors that an investment advisor must consider when forming an investment policy statement is an individual investor’s unique circumstances. Which of the following would most closely be associated with circumstances that are unique to an individual?

A. Time Horizon

B. Risk tolerance

C. Views regarding tobacco stocks

D. Taxes

​Joe Miller, portfolio manager with Diversified Partners Inc., has a meeting with a potential client, David Struthers. David is the 15% tax bracket, has a modest net worth, has about 20,000 to invest with Joe and has a moderate risk tolerance. David indicates he has a strong preference for actively managed mutual funds as investment vehicles. Which of the following would represent the most appropriate recommendation?

A. A hedge fund containing both equity and fixed income exposure.

B. An equity income mutual fund

C. An ETF containing both fixed income securities as well as equities.